Hedge Fund Database

CHARLES SCHWAB INVESTMENT ADVISORY, INC

CHARLES SCHWAB INVESTMENT ADVISORY, INC. Legal Name

Adviser information for CHARLES SCHWAB INVESTMENT ADVISORY, INC last updated from Form ADV on December 1st, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 26
Investment Advisory/Research 25
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 495,347 $66.1B
Non-Discretionary 0 $0
Total 495,347 $66.1B

Clients

Type Number RAUM
Individuals 458,668 $44.5B
HNW Individuals 36,545 $21.2B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 134 $386.9M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation COSTS PLUS

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 66.1B
Both for Same 0
Portfolio Manager to Program Sponsor
SCHWAB INTELLIGENT PORTFOLIOS CHARLES SCHWAB & CO., INC.

Identifiers

SEC RIA File Number 801-70737
SEC ERA File Number 801-70737
SEC CIK Numbers 1501902
SEC CRD Numbers 151739
Legal Entity Identifier None

Principal Office

211 MAIN STREET
SF211MN-08-150
SAN FRANCISCO
CA
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 415-667-1910, Fax: None

Chief Compliance Officer

ALYSSA DUFFY
CHIEF COMPLIANCE OFFICER
ONE INTERNATIONAL PLACE
33RD FLOOR
BOSTON
MA
United States
Tel: 617-960-5317
(Full email address available in API data)

Industry Affiliates

CHARLES SCHWAB & CO., INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency
CHARLES SCHWAB BANK, SSB Banking or thrift institution
CHARLES SCHWAB FUTURES, INC Futures commission merchant
CHARLES SCHWAB HONG KONG, LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
CHARLES SCHWAB PREMIER BANK, SSB Banking or thrift institution
CHARLES SCHWAB TRUST BANK Commodity pool operator or commodity trading advisorBanking or thrift institution
CHARLES SCHWAB TRUST COMPANY Trust company
CHARLES SCHWAB TRUST COMPANY OF DELAWARE Trust company
CHARLES SCHWAB U.K., LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
SCHWAB WEALTH ADVISORY, INC. Other investment adviser, including financial planners
TD AMERITRADE INVESTMENT MANAGEMENT, LLC Other investment adviser, including financial planners
TD AMERITRADE, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
QUINN, WILLIAM, F Individual – TREASURER, DIRECTOR 07/2010 < 5%
SCHWAB HOLDINGS, INC. Domestic Entity – 100% OWNER 03/2018 > 75%
THE CHARLES SCHWAB CORPORATION Domestic Entity SCHWAB HOLDINGS, INC. SHAREHOLDER 03/1987 > 75%
DUFFY, ALYSSA Individual – CHIEF COMPLIANCE OFFICER 06/2022 < 5%
AGUILAR CHAVEZ, OMAR Individual – CHIEF EXECUTIVE OFFICER, DIRECTOR, PRESIDENT 10/2022 < 5%
Niedermeier, Stacy, A Individual – CHIEF FINANCIAL OFFICER, DIRECTOR 11/2023 < 5%

No. Employees, Historic

3001500201920202021202220232024113 on 9/30/2019113 on 10/31/2019113 on 12/26/2019117 on 3/27/2020117 on 6/29/2020117 on 8/1/2020204 on 3/31/2021204 on 12/20/202126 on 3/30/202226 on 7/12/202226 on 7/18/202226 on 9/30/202226 on 3/30/202326 on 10/31/202326 on 10/31/202326 on 12/1/2023

RAUM, Historic

90B45B020192020202120222023202470588972038 on 9/30/201970588972038 on 10/31/201970588972038 on 12/26/201989958134029 on 3/27/202089958134029 on 6/29/202089958134029 on 8/1/202053743435281 on 3/31/202153743435281 on 12/20/202170678515492 on 3/30/202270678515492 on 7/12/202270678515492 on 7/18/202270678515492 on 9/30/202266080242938 on 3/30/202366080242938 on 10/31/202366080242938 on 10/31/202366080242938 on 12/1/2023

No. Clients, Historic

600,000300,0000201920202021202220232024403292 on 9/30/2019403292 on 10/31/2019403292 on 12/26/2019504702 on 3/27/2020504702 on 6/29/2020504702 on 8/1/2020378053 on 3/31/2021378053 on 12/20/2021466516 on 3/30/2022466516 on 7/12/2022466516 on 7/18/2022466516 on 9/30/2022495347 on 3/30/2023495347 on 10/31/2023495347 on 10/31/2023495347 on 12/1/2023

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
NA COM 0 0 –